Managing Born- Digital Documents.

Transcription

1 Managing Born- Digital Documents

2 Objectives Review the challenges of managing born-digital records Provide Practical strategies to ensure born-digital records are well managed Understand the basics of digital preservation Eliminate the need to print records to paper

3 Your Goal: If a record is born digital, it will die digital

4 What s Wrong with this Picture?

5 Issues and Opportunities DIGITAL RECORDS OVERVIEW

6 The Records Lifecycle

7 Same Rules Apply RM fundamentals apply regardless of format Storage Organization Ownership Retention & disposition Security & protection Authenticity Preservation

8 Same Questions Paper What records do you have? Who created them? Who is responsible for them? Where are they stored? What s their retention period? What is their format? Same Same Same Same Same Same E-Records

9 New Challenges Multiple managers IT, RMO, department, user Creation devices PC, laptop, tablet, smart phone, etc. Continuous changes Live applications (e.g. database-driven apps, GIS, web sites ) Storage locations Multiple repositories to manage (e.g. servers, handheld devices, cloud, etc.)

10 Additional Challenges Accessibility Local, shared, security, public Trustworthy Revision control Legal compliance Preservation challenges Maintaining readability/functionality Proprietary file formats; obsolescence

11 Consider This: Approximately 90% of all documents are created electronically About 70% of paper records were created electronically

12 Types, categories & locations KNOW WHAT YOU HAVE

13 Types of E-Records Word processing Spreadsheets PDF Databases Scanned images & attachments Presentations Photos Websites Social media Audio recordings Videos Electronic publications GIS CAD (Computer Aided Design)

14 Where Are Your Records? Desktop PC s Laptops Network servers File servers Application servers Removable media CDs, DVDs, USB drives, etc. Backup tapes Remote sites Home offices Tablets Smart phones The Cloud

15 Categories of e-records Structured Database driven applications (financial, permits, etc.) Unstructured Word processing, spreadsheets, PDF

16 Social Media Third-party hosted and managed Facebook, Twitter, blogging with comments Need centralize management Limit who can post Governing policies must be in place Tools needed to retain past information

17 Locally or Cloud? Where are your records stored? On your servers or a 3rd party (e.g. vendor, state, federal) If internally: Which devices store the data and who controls them? If third-party: What does your contract stipulate? Where are the primary servers? Where are the backups?

18 So It s Simple: If you want your digital documents to be records, treat them like records

19 Setting a Strategy MANAGING WHAT YOU HAVE

20 1. Identifying e-records Identify the records Creation applications Storage locations Identify the owner Creator, custodian, and owner Determine official record Paper print-out or electronic? Work-in-process or final?

21 2. Identify Risks Identify potential and existing risks Common risks Lack of security Lack of protection Risk of future inaccessibility

22 Potential Risks Security physical & logical/it Protection Retention Preservation Uncontrolled duplication Storage location

23 3. Determine Focus Where to begin? Where is your larger risk? Short term and long term Low hanging fruit Imminent threats Day-forward and backlog Can t address everything at once Be realistic in your approach

24 4. Action Plan Focus area will influence action plan Balanced approach Serious issues are priority What can easily be achieved? Identify short term and long term answers Plan accordingly

25 Project Management Project management is critical to overall success Patience Keep plan as simple as possible Get advice

26 IMPLEMENTING A STRATEGY

27 Practical Steps Inventory Dispose Organize Preserve Manage (on-going) Document (policies & procedures)

28 Dispose of What You Can Determine records retention requirements Use same schedules Separate records from non records Work-in-process, copies Determine official record Paper or electronic? Perform consistently in course of business Periodic review needed

29 Organization Structured Output periodic reports to PDF/A Unstructured Purging & developing a file plan Note: Preservation will be discussed later

30 Unstructured e-file Plan Standardized filing method for unstructured files Location where final record copies are stored Determine how you search for records Facilitate retrieval and access Recommendations Begin modeling using paper filing systems Use intelligible names Be consistent Use to track retention and versions

31 Naming Conventions

32 How to Stop the Paper Designate the electronic version the official copy Control printers and photocopiers Implement Electronic Forms Use e-signatures where appropriate

33 Sample Resolution The Town of Adams shall maintain all digitally created records in their native digital format for the legally proscribed retention period of the record. The Town shall maintain all digital records adhering to the guidelines set forth in the Regulations of the Commissioner of Education Part

34 Implement Electronic Forms With an ECM Create your own

35 What s an ECM? Central technology platform used to capture, manage, store, preserve, and deliver electronic content Central repository for storing electronic records Manages records in many formats Provides structure for unstructured data

36 Electronic Forms

37 Electronic Forms II

38 Electronic Forms III

39 Electronic Signatures Electronic Signature and Records Act (ESRA) An electronic signature is an electronic sound, symbol, or process, attached to or logically associated with an electronic record and executed or adopted by a person with the intent to sign the record pdf

40 ESRA esignature Approaches Click Through or Click Wrap Personal Identification Number (PIN) or password Digitized Signature Biometrics Public/Private Key

41 Click Through Example

42 Password Example

43 Password Example II

44 Retention Options Schedule-Based Retention Uniform Retention Functional Retention ( Big Bucket retention) Account Holder Retention

45 Schedule-Based Retention Each mailbox owner: Categorizes each message Matches the message to a specific schedule item Determines the disposition date Files the message in an appropriate place Disposes of the message when appropriate

46 Pros and Cons Schedule-Based Retention Pros Conforms to current retention rules Employs mailbox owner s knowledge Does not require additional software or hardware Cons Labor intensive Increased costs User resistance Often impracticable

47 Uniform Retention A single predetermined retention period for most Applies to the official copy Most common retention is 3-10 years Exceptions for s that need longer or shorter retention Event-based retentions Automatically deleted from server Discourage saving s outside the server

48 Uniform Retention Pros and Cons Pros Easier to understand (than schedule-based) Less decision-making More compliance from mailbox owners Cons Goes against over 50 years of retention practice Keep records longer than you need Requires more storage capacity Affects performance of servers

49 Functional Retention Consolidates schedules into broader functions Also known as the big bucket theory Middle ground between schedule-based retention and uniform retention Can use functional headings in schedules to implement

50 Big Bucket Example From the ED-1 Bank Statement [109] 6 years Budget preparation file [55] 6 years Voucher [121] 6 years Daily cash record [100] 6 years Purchase order [269] 6 years Big Bucket Approach Fiscal 6 years

51 Big Buckets Pros and Cons Pros Simplifies role of end user Simplifies system requirements Improves consistency Cons Leads to some increases in retention periods Goes against over 50 years of retention practice

52 Account Holder Retention Manage retention by account Retention is based on account holder s work And/or the account holder s position Examples Mayor s and secretary s account is permanent Fiscal officer s account is six years All other clerical staff is 1 year

53 Preservation Concerns Will file be readable for entire retention period? Format less of a concern for short term retention Native or neutral format (e.g..doc, PDF, etc.) Long term document and image formats PDF/A Tagged Image File Format TIFF

54 Media Limitations

55 Media Storage Standards Store media in proper environment Dust-free, closed container Temperature (60-68 ); Humidity (35%-45%) Properly labeled Keep away from cleaning supplies & chemicals Keep secure Maintain access log

56 Strategies: Social Media In most cases records will need to be extracted Built in tools Generally free May not extract data in a useful format May not extract complete record information 3rd party applications May have costs associated with them More selection May not extract complete record information

57 Strategies: Migration Maintenance Tape should be periodically rewound (every 24 months) Periodically refresh or transfer data to new media Develop migration plan Move/convert data before system is obsolete Include in budget Consider as hardware & software changes Test process

58 Strategies: Digital Preservation Systems Utilize the OAIS model to preserve records Example: Preservica, Archivematica Best for long-term and permanent records Require significant resources to implement

59 Preserving Databases How to preserve what is constantly changing? Start with need and then address in policy Snapshots captured at predetermined periods Determine retention requirements Long term retention requires movement to XML

60 Why not rely just on backups to preserve permanent e-records?

61 Policies and Procedures Integrate e-records into overall RM program One RM program; e-records are just another format Must have senior official s support Governing board acceptance Get IT input Often do not have time to write themselves Document systems & retain for life of system

62 Examples of Policies Acceptable use Systems use, social media, etc. Organizing How files (including ) should be named & filed Roles and responsibilities Record coordinators, administrators, etc. Protection Back-up procedures Security, passwords

63 Education Awareness & education Initial training Periodic reinforcement Integrate into new hire & staff review process Signed staff acknowledgement

64 PRACTICAL STEPS GOING FORWARD

65 Suggested Steps Use what you know now Discover what you don t know Prioritize Determine policy needs Address low hanging fruit Evaluate technologies e.g. Electronic Content Mgt System considerations

66 Use What You Know Start with willing partners/departments Your department or willing participant Inventory what you have Unstructured e-record file plan Structured record output Learn what works and does not for you Consider using a consultant

67 Discover What You Don t Know Pick next willing functional area(s) Inventory Determine needs Prioritize

68 Action Plan Address low hanging fruit Evaluate technologies (e.g. ECM considerations) File plan Folder & file naming convention folder structure Periodic output to PDF/A for structured e-records Policies Address cloud contracts, social media, preservation, etc.

69 LAST WORDS OF ADVICE

70 Conclusions Integrate into overall RM program Develop policies to guide RM program Procedures for day-to-day activities Integrate ERM into normal course of business Senior official s support required Develop e-records file plan Make the best use of technology Partner with IT Build functionality into your system

71 ERM Benefits Reduces risk & compliance costs Demonstrate compliance; facilitates discovery Improves staff efficiencies Reduce time searching for records Supports business continuity Identifies essential records for protection Facilitates sharing of information Reduces redundant copies